| 14-00644 | 12/22/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Scott Mills
Respondent Lawyers(s): Scott M. Garelick
Arbitrator(s): Philip I. McConnell, Richard C. Corse, G. Maynard Green
Hearing Site: Dallas, TX
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| 13-02770 | 12/10/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Christopher Gallo
Respondent Lawyers(s): Scott R. Shewan
Arbitrator(s): Barry A. Mainardi, Michael G. Clark, Michael John Florio
Hearing Site: Las Vegas, NV
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| 14-02314 | 11/10/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julie L. Taylor
Respondent(s): Kenneth Winn
Respondent Lawyers(s): Kenneth Allen Winn
Arbitrator(s): Carlos Richard Mangum, Thomas D. Reese, Fern M. Laethem
Hearing Site: San Francisco, CA
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| 14-03706 | 11/10/2015 | Claimant(s): Patrick Van Roten
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Robert E. Anderson, Jeffrey Charles Rooney, Zung T. Nguyen
Hearing Site: New York, NY
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| 14-03227 | 11/05/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Francisco Diaz
Respondent Lawyers(s): Kenneth Ray Noble
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
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| 15-00093 | 11/04/2015 | Claimant(s): Michael Kleinfelder
Claimant Lawyers(s): William K. Flynn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew T. Mount
Arbitrator(s): Thomas B. Corey
Hearing Site: Cincinnati, OH
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| 14-03428 | 10/22/2015 | Claimant(s): David Boor, Mark Steinberg
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
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| 13-03708 | 10/06/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Thomas Wilson
Respondent Lawyers(s): Thomas B. Wilson
Arbitrator(s): Madelyn A. Levy
Hearing Site: New York, NY
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| 15-00582 | 10/06/2015 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan Smith
Respondent(s): David Nell
Respondent Lawyers(s): David Nell
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
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| 14-00458 | 10/01/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Whitney Floren
Respondent Lawyers(s): Elliot M. Sherman
Arbitrator(s): Arthur J. Giacomarra, Nadine Nasser Donovan, Michael Christopher Hildreth
Hearing Site: Boston, MA
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